The Dodd-Frank Act impacted every financial services firm and every part of the economic and financial fabric of the United States, with billions spent on compliance.
In response to the global financial crisis of 2008, President Obama signed the Dodd-Frank Act into law in July 2010. Resources that Davis Polk published between 2010 and 2017 to help our clients understand, plan for and react to the law’s sweeping financial regulatory reforms are gathered here.
Dodd-Frank Progress Reports
July 19, 2016
Dodd-Frank Progress Report, July 2016
January 4, 2016
Dodd-Frank Progress Report, January 2016
October 1, 2015
Dodd-Frank Progress Report, October 2015
July 16, 2015
Dodd-Frank Progress Report, July 2015
April 1, 2015
Dodd-Frank Progress Report, April 2015
January 5, 2015
Dodd-Frank Progress Report, January 2015
Dodd-Frank Progress Report, December 2014
November 3, 2014
Dodd-Frank Progress Report, November 2014
October 1, 2014
Dodd-Frank Progress Report, October 2014
September 2, 2014
Dodd-Frank Progress Report, September 2014
July 18, 2014
Dodd-Frank Four-year Anniversary Progress Report
July 1, 2014
Dodd-Frank Progress Report, July 2014
June 2, 2014
Dodd-Frank Progress Report, June 2014
May 1, 2014
Dodd-Frank Progress Report, May 2014
April 1, 2014
Dodd-Frank Progress Report, April 2014
March 3, 2014
Dodd-Frank Progress Report, March 2014
February 3, 2014
Dodd-Frank Progress Report, February 2014
January 2, 2014
Dodd-Frank Progress Report, January 2014
December 2, 2013
Dodd-Frank Progress Report, December 2013
November 1, 2013
Dodd-Frank Progress Report, November 2013
September 3, 2013
Dodd-Frank Progress Report, September 2013
July 18, 2013
Dodd-Frank Three-Year Anniversary Progress Report
July 18, 2013
Three-Years of Dodd-Frank Infographic, July 2013
June 3, 2013
Dodd-Frank Progress Report, June 2013
May 1, 2013
Dodd-Frank Progress Report, May 2013
April 1, 2013
Dodd-Frank Progress Report, April 2013
Dodd-Frank Progress Report, March 2013
February 1, 2013
Dodd-Frank Progress Report, February 2013
January 2, 2013
Dodd-Frank Progress Report, January 2013
December 3, 2012
Dodd-Frank Progress Report, December 2012
November 1, 2012
Dodd-Frank Progress Report, November 2012
October 1, 2012
Dodd-Frank Progress Report, October 2012
September 4, 2012
Dodd-Frank Progress Report, September 2012
July 18, 2012
Dodd-Frank Two-Year Anniversary Progress Report
July 18, 2012
Infographic and Complexity Graph
July 2, 2012
Dodd-Frank Progress Report, July 2012
June 1, 2012
Dodd-Frank Progress Report, June 2012
May 1, 2012
Dodd-Frank Progress Report, May 2012
April 2, 2012
Dodd-Frank Progress Report, April 2012
March 1, 2012
Dodd-Frank Progress Report, March 2012
February 1, 2012
Dodd-Frank Progress Report, February 2012
January 3, 2012
Dodd-Frank Progress Report, January 2012
December 1, 2011
Dodd-Frank Progress Report, December 2011
November 1, 2011
Dodd-Frank Progress Report, November 2011
October 3, 2011
Dodd-Frank Progress Report, October 2011
September 6, 2011
Dodd-Frank Progress Report, September 2011
July 22, 2011
Dodd-Frank Progress Report, July 2011
July 1, 2011
Dodd-Frank Progress Report, July 2011
June 1, 2011
Dodd-Frank Progress Report, June 2011
May 2, 2011
Dodd-Frank Progress Report, May 2011
April 4, 2011
Dodd-Frank Progress Report, April 2011
Asset-backed securities offerings
September 2, 2011
June 1, 2011
Proposed Credit Risk Retention Rules Raise Serious Concerns
February 9, 2011
January 24, 2011
July 21, 2010
July 21, 2010
July 9, 2010
Bank capital
Basel III
August 21, 2017
July 14, 2017
November 17, 2016
The Trump Transition and Possible Directions for Financial Regulatory Reform
May 25, 2016
Federal Reserve’s Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
March 22, 2016
Visual Memo: Single-Counterparty Credit Limits Proposed Rule
January 22, 2016
U.S. Uncleared Swap Margin, Capital and Segregation Rules
November 12, 2015
U.S. Bank Regulators’ Uncleared Swap Margin, Capital and Segregation Rules
November 10, 2015
Federal Reserve’s Proposed Rule on TLAC and Eligible LTD
November 9, 2015
CFTC’s Clearinghouse Exemptive Regime
October 15, 2014
CFTC Re-Proposes Uncleared Swap Margin Rules
September 23, 2014
U.S. Basel III Liquidity Coverage Ratio Final Rule: Visual Memorandum
September 15, 2014
Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities
September 12, 2014
May 16, 2014
April 2, 2014
U.S. Intermediate Holding Company: Structuring and Regulatory Considerations for Foreign Banks
January 21, 2014
Revised Basel III Leverage Ratio: Visual Memorandum
January 9, 2014
Davis Polk Capital and Prudential Standards Blog
October 30, 2013
U.S. Basel III Liquidity Coverage Ratio Proposal Visual Memorandum
July 24, 2013
Webcast Series: U.S. Basel III Final Rule for Community, Regional, and Foreign Banking Organizations
July 19, 2013
July 8, 2013
U.S. Basel III Final Rule: Visual Memorandum
April 30, 2013
Brown-Vitter Bill: Commentary and Analysis
February 25, 2013
Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin
January 17, 2013
Basel Committee Revises Basel III Liquidity Coverage Ratio
November 14, 2012
2013 CCAR Process Begins and U.S. Basel III Rules Are Delayed
June 12, 2012
U.S. Basel III Capital Proposed Rules and Market Risk Final Rule: Out with the Old, In with the New
September 13, 2010
Agreement on Quantification and Timing of Basel III Minimum Capital Requirements
Dodd-Frank-Related Rulemaking
December 17, 2012
Dodd-Frank Enhanced Prudential Standards for Foreign Banking Organizations
December 2, 2012
Governor Tarullo Foreshadows Proposal to Ring-Fence Large U.S. Operations of Foreign Banks
December 23, 2011
September 7, 2011
Federal Reserve Interim Final Rule Adopts Regulations for Savings and Loan Holding Companies
July 11, 2011
Counterparty Credit Risk Management: Links Between Supervisory Guidance, Dodd-Frank and Basel
June 23, 2011
Federal Banking Agencies Implement Collins Amendment by Establishing Risk-Based Capital Floor
July 21, 2010
July 21, 2010
July 9, 2010
Davis Polk Regulatory Implementation Slides
June 28, 2010
Collins Amendment – Minimum Capital and Risk-Based Capital Requirements
Derivatives
August 21, 2017
May 14, 2017
CFTC’s Project KISS Gets Underway: Giancarlo Makes the First Move
August 22, 2016
SEC Adopts Amendments to Regulation SBSR
May 25, 2016
Federal Reserve’s Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
May 24, 2016
SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
January 22, 2016
U.S. Uncleared Swap Margin, Capital and Segregation Rules
December 29, 2015
SEC Proposes New Limits on Registered Funds’ Derivatives Use
November 12, 2015
U.S. Bank Regulators’ Uncleared Swap Margin, Capital and Segregation Rules
November 10, 2015
Federal Reserve’s Proposed Rule on TLAC and Eligible LTD
November 9, 2015
CFTC’s Clearinghouse Exemptive Regime
September 30, 2015
CFTC Modifies Proposed Aggregation Standards for Owned Entities Under its Position Limit Rules
June 24, 2015
SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
June 1, 2015
March 2, 2015
SEC Issues Reporting Rules for Security-Based Swaps
December 17, 2014
Swaps Pushout Provision Amended: Pushout Requirement in Section 716 Now Limited to Certain ABS Swaps
May 16, 2014
November 18, 2013
July 30, 2013
CFTC Finalizes Cross-Border Swaps Guidance and Establishes Compliance Schedule
July 15, 2013
Swaps Pushout Rule: Federal Reserve Banks Revise Discount Window Documentation
June 24, 2013
OCC Lending Limits Final Rule: Credit Exposures from Derivatives and Securities Financing
June 6, 2013
Swaps Pushout Rule: Federal Reserve Clarifies Treatment of U.S. Branches of Foreign Banks
June 5, 2013
CFTC Finalizes SEF Rules and Adopts Minimum Block Trade Sizes
June 5, 2013
CFTC Provides Clearing Relief for Treasury Affiliates of Commercial Swap Counterparties
May 16, 2013
SEC Proposes Cross-Border Security-Based Swap Rules
April 15, 2013
CFTC Provides Inter-affiliate Swap Clearing and Reporting Relief
April 2, 2013
Swap Reporting: Who and When?
February 25, 2013
Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin
December 27, 2012
CFTC Issues Final Cross-Border Swap Exemptive Order
November 12, 2012
Impact of Dodd-Frank Derivatives Regulations on Latin American Financial Institutions
November 5, 2012
SEC Proposes Capital, Margin, and Segregation Rules for Security-Based Swap Dealers
October 13, 2012
CFTC Clarifies Temporary Application of Swap Regulations and Delays Some Swap-Related Requirements
August 24, 2012
NFA Proposes to Amend Rules to Impose New Swaps Registration Requirement on FCMs, IBs, CPOs and CTAs
August 20, 2012
CFTC Proposes Clearing Exemption for Inter-Affiliate Swaps
July 30, 2012
CFTC Begins Implementation of Mandatory Clearing of Swaps
July 19, 2012
July 17, 2012
Key Dodd-Frank Derivatives Issues for End Users
July 10, 2012
July 3, 2012
CFTC Proposes Cross-Border Guidance and Exemptive Order
June 22, 2012
June 5, 2012
CFTC Adopts Historical Swap Recordkeeping and Reporting Requirements
May 22, 2012
CFTC Proposes Exemptions from Aggregation under Its Position Limits Rule
May 21, 2012
CFTC Chairman Gensler Previews Key Elements of Dodd-Frank Title VII Cross-Border Guidance
May 2, 2012
April 5, 2012
CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules
March 12, 2012
CFTC Adopts Internal Business Conduct Rules for Swap Dealers and Major Swap Participants
March 7, 2012
CFTC and SEC Jointly Propose Identity Theft Rules
January 27, 2012
CFTC Adopts Business Conduct Rule for Swap Dealers
January 23, 2012
CFTC Adopts Final Rule on Protection of Cleared Swap Customer Collateral
January 18, 2012
January 11, 2012
CFTC Adopts Rules Establishing Swap Reporting Regime
November 7, 2011
CFTC Adopts Final Position Limits for 28 Physical Commodity Futures, Options, and Swaps
October 18, 2011
July 11, 2011
Counterparty Credit Risk Management: Links Between Supervisory Guidance, Dodd-Frank and Basel
June 17, 2011
CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements
June 9, 2011
SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps
May 17, 2011
60 Days - Over 175 New Derivatives Provisions
May 2, 2011
Treasury Proposes FX Swap and Forward Exemption
April 20, 2011
CFTC Releases Swap Margin Proposal
April 14, 2011
Regulators Propose Swap Margin and Capital Rules
March 18, 2011
SEC Proposal Clarifies No Change to “Beneficial Ownership” Rules for Swaps
November 30, 2010
CFTC Proposes to Register and Regulate Swap Dealers and Major Swap Participants
November 22, 2010
CFTC and SEC Propose Swap Data Reporting Rules
November 12, 2010
CFTC Proposes Swap Dealer and Major Swap Participant Rules
October 15, 2010
SEC and CFTC Adopt Interim Final Rules on Reporting and Recordkeeping for Pre-Dodd-Frank Swaps
July 21, 2010
July 21, 2010
July 9, 2010
Davis Polk Regulatory Implementation Slides
June 28, 2010
Executive compensation / corporate governance
December 22, 2016
SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements
December 12, 2016
Predictions on Possible Changes to and Timing of the Dodd-Frank Executive Compensation Provisions
November 17, 2016
The Trump Transition and Possible Directions for Financial Regulatory Reform
May 2, 2016
Incentive Compensation for Financial Institutions: Reproposal
August 19, 2015
D.C. Circuit Court Upholds Earlier Decision Partially Invalidating Conflict Minerals Rule
August 10, 2015
SEC Adopts Final Pay Ratio Disclosure Rule
July 8, 2015
SEC Proposes Dodd-Frank Clawback Rule
May 1, 2015
SEC Proposes “Pay Versus Performance” Rule
September 5, 2014
European Regulatory Snapshot: Remuneration in the Financial Services Industry 2014
June 18, 2014
Whistleblower Update: SEC Resolves First Case Under New Authority to Bring Anti-Retaliation Claims
June 9, 2014
Recent Developments in Whistleblower Protections: Legal Analysis and Practical Implications
April 2, 2014
U.S. Intermediate Holding Company: Structuring and Regulatory Considerations for Foreign Banks
January 29, 2014
Risk Governance: Visual Memorandum on Guidelines Proposed by the OCC
December 4, 2013
Nasdaq Proposes More Flexible Compensation Committee Independence Standards
August 8, 2013
European Regulatory Snapshot: Remuneration in the Financial Services Industry
August 6, 2013
First Circuit Sun Capital Decision Increases ERISA Exposure for Private Equity Funds
July 24, 2013
U.S. District Court Upholds Conflict Minerals Rules
April 23, 2013
Recent European Compensation Developments: Financial Institutions and Beyond
July 17, 2012
Key Dodd-Frank Derivatives Issues for End Users
June 21, 2012
SEC Finalizes Independence Rules for Compensation Committees and Advisers
January 17, 2012
December 13, 2011
Say-on-Pay Year Two: a Planning Primer
September 21, 2011
SEC Clears the Way for “Private Ordering” for Proxy Access; Related Rules also Effective
September 2, 2011
Compensation Clawback under Dodd-Frank: Impact on Foreign Issuers
May 25, 2011
SEC Adopts Final Whistleblower Rules
April 1, 2011
SEC Proposes Independence Rules for Compensation Committees and Advisers
March 31, 2011
March 3, 2011
Federal Agencies Propose Interagency Rule on Incentive-Based Compensation for Financial Institutions
January 27, 2011
SEC Adopts Final Say-on-Pay and Golden Parachute Rules
November 17, 2010
October 20, 2010
SEC Proposes Say-on-Pay Rules for Companies and Proxy Vote Reporting Rules for Investment Managers
September 23, 2010
Preparing for the 2011 Proxy Season: Action Plans and Open Issues
September 16, 2010
Proxy Access Rules Effective November 15, 2010
September 7, 2010
Proxy Access Year One: What to Expect and What to Do Now
August 25, 2010
SEC Adopts Proxy Access for 2011 Proxy Season
July 21, 2010
July 21, 2010
July 9, 2010
Davis Polk Regulatory Implementation Slides
June 28, 2010
Municipal securities
October 7, 2013
SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process
October 2, 2013
SEC Releases Final Municipal Advisor Registration Rule Part I: Who is a Municipal Advisor?
May 16, 2012
SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters
September 3, 2010
SEC Adopts Rule Providing for Temporary Registration of Municipal Advisors
July 21, 2010
July 21, 2010
July 9, 2010
Orderly liquidation authority / living wills
November 17, 2016
The Trump Transition and Possible Directions for Financial Regulatory Reform
May 25, 2016
Federal Reserve’s Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
March 2, 2016
November 10, 2015
Federal Reserve’s Proposed Rule on TLAC and Eligible LTD
February 15, 2013
July 11, 2012
Living Wills: Key Lessons from the First Wave for Second and Third Wave Filers
September 19, 2011
Credible Living Wills Under the U.S. Regulatory Framework
April 26, 2011
April 5, 2011
FDIC Releases Joint Notice of Proposed Rulemaking on Resolution Plans and Credit Exposure Reports
March 28, 2011
FDIC’s Second Notice of Proposed Rulemaking under the Orderly Liquidation Authority
August 30, 2010
Implications of Orderly Liquidation Authority - WSJ Video Interview
July 21, 2010
July 21, 2010
July 9, 2010
Private funds / investment advisers
November 17, 2016
The Trump Transition and Possible Directions for Financial Regulatory Reform
May 25, 2016
Federal Reserve’s Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
March 29, 2016
Investment Management Regulatory Update
March 2, 2016
February 18, 2016
Investment Management Regulatory Update
January 27, 2016
Investment Management Regulatory Update
December 29, 2015
SEC Proposes New Limits on Registered Funds’ Derivatives Use
December 21, 2015
Investment Management Regulatory Update
December 11, 2015
SEC Proposes New Rule Governing the Use of Derivatives by Registered Investment Companies
November 24, 2015
Investment Management Regulatory Update
October 27, 2015
Investment Management Regulatory Update
September 24, 2015
Investment Management Regulatory Update
September 16, 2015
FinCEN’s Proposed Rule to Require Investment Advisers to Establish AML Programs
August 25, 2015
Investment Management Regulatory Update
July 14, 2015
Investment Management Regulatory Update
June 22, 2015
Investment Management Regulatory Update
June 5, 2015
New York’s Final “BitLicense” Rule: Overview and Changes from the July 2014 Proposal
May 20, 2015
Investment Management Regulatory Update
April 27, 2015
Investment Management Regulatory Update
April 6, 2015
FINRA Issues Regulatory Notices on Algorithmic Trading Strategies
March 26, 2015
Investment Management Regulatory Update
March 2, 2015
SEC Issues Reporting Rules for Security-Based Swaps
February 18, 2015
Investment Management Regulatory Update
January 20, 2015
Investment Management Regulatory Update
October 15, 2014
CFTC Re-Proposes Uncleared Swap Margin Rules
July 2, 2014
Key Questions Raised by the CFTC’s Plans for Non-US CCPs
June 23, 2014
Investment Management Regulatory Update
April 8, 2014
Clearinghouse Regulatory Basics for Swap Market Participants
January 27, 2014
Investment Management Regulatory Update
January 7, 2014
January 6, 2014
Volcker Rule Final Regulations: Funds Flowcharts
November 18, 2013
October 7, 2013
SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process
July 18, 2013
Investment Management Regulatory Update
June 24, 2013
Investment Management Regulatory Update
May 16, 2013
Investment Management Regulatory Update
February 27, 2013
Investment Management Regulatory Update
January 22, 2013
Investment Management Regulatory Update
January 3, 2013
SEC Adopts New Obligations for Broker-Dealers Regarding Lost Securityholders and Unresponsive Payees
December 20, 2012
Investment Management Regulatory Update
November 27, 2012
Investment Management Regulatory Update
July 19, 2012
July 17, 2012
Key Dodd-Frank Derivatives Issues for End Users
July 11, 2012
SEC and CFTC Finalize Swap Product Definitions: The Title VII Swap Countdown Begins
May 2, 2012
April 20, 2012
Volcker Rule Conformance Period Guidelines
April 9, 2012
April 5, 201
CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules
March 21, 2012
Investment Management Regulatory Update
March 12, 2012
CFTC Adopts Internal Business Conduct Rules for Swap Dealers and Major Swap Participants
March 7, 2012
CFTC and SEC Jointly Propose Identity Theft Rules
February 21, 2012
Investment Management Regulatory Update
January 27, 2012
CFTC Adopts Business Conduct Rule for Swap Dealers
January 23, 2012
CFTC Adopts Final Rule on Protection of Cleared Swap Customer Collateral
January 23, 2012
Investment Management Regulatory Update
January 18, 2012
January 11, 2012
CFTC Adopts Rules Establishing Swap Reporting Regime
October 27, 2011
SEC Approves Private Fund Systemic Risk Reporting
October 14, 2011
Investment Management Regulatory Update
October 12, 2011
Volcker Rule Proposed Regulations: Hedge / PE Funds Summary
October 12, 2011
Volcker Rule Proposed Regulations: Hedge / PE Funds Summary with Annexes
October 7, 2011
Summary of Leaked Volcker Release – Funds
September 19, 2011
Investment Management Regulatory Update
July 13, 2011
Investment Management Regulatory Update
June 29, 2011
SEC Issues Final Rules Implementing Dodd-Frank Amendments to the Investment Advisers Act of 1940
June 10, 2011
Investment Management Regulatory Update
May 17, 2011
Investment Management Regulatory Update
April 25, 2011
Dodd-Frank Act May Require New SEC Registration for Non-U.S. Advisers
April 15, 2011
Investment Management Regulatory Update
February 14, 2011
Investment Management Regulatory Update
February 9, 2011
January 24, 2011
SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers
January 20, 2011
Summary of the Volcker Rule Study – Hedge Funds and Private Equity Funds
January 13, 2011
Investment Management Regulatory Update
December 17, 2010
Investment Management Regulatory Update
November 24, 2010
November 24, 2010
October 20, 2010
SEC Proposes Say-on-Pay Rules for Companies and Proxy Vote Reporting Rules for Investment Managers
September 20, 2010
September 16, 2010
Impact of the Dodd-Frank Act on Private Equity Funds, Hedge Funds and Their Investment Advisers
September 13, 2010
Investment Management Regulatory Update
August 16, 2010
Investment Management Regulatory Update
July 26, 2010
SEC Proposes New Regulatory Scheme for 12b-1 Mutual Fund Fees
July 21, 2010
July 21, 2010
July 9, 2010
Securities
November 17, 2016
The Trump Transition and Possible Directions for Financial Regulatory Reform
July 27, 2016
FINRA Proposes Reporting Requirements for Treasury Securities
May 24, 2016
SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
January 22, 2016
U.S. Uncleared Swap Margin, Capital and Segregation Rules
March 09, 2016
CFPB Brings First Ever Data Security Enforcement Action: Review and Analysis
September 24, 2015
Securities Litigation Update: Constitutional Challenges to SEC’s Administrative Courts Gain Momentum
July 8, 2015
SEC Proposes Dodd-Frank Clawback Rule
June 1, 2015
March 2, 2015
SEC Issues Reporting Rules for Security-Based Swaps
September 16, 2014
September 15, 2014
Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities
August 5, 2014
SEC Adopts Money Market Fund Reforms
July 3, 2014
SEC Adopts Security-Based Swap Cross-Border Definitional Rule
July 1, 2014
SEC Guidance on Use of Proxy Advisory Firms for Voting Proxies
May 16, 2014
February 12, 2014
M&A Brokers Receive No-Action Relief from Broker-Dealer Registration
November 18, 2013
SEC Proposes Rules for Crowdfunding Intermediaries >
October 24, 2013
SEC Proposes Crowdfunding Rules Under JOBS Act >
October 7, 2013
SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process
July 24, 2013
U.S. District Court Upholds Conflict Minerals Rules
May 31, 2013
SEC Issues Guidance on Conflict Minerals
March 26, 2013
Supreme Court Hears Oral Argument Involving “Reverse Payment” Patent Infringement Settlements
October 26, 2012
Implementing the SEC’s Final Conflict Mineral Rules: Guidelines and Commonly Asked Questions
August 22, 2012
July 11, 2012
SEC and CFTC Finalize Swap Product Definitions: The Title VII Swap Countdown Begins
May 16, 2012
SEC Proposes Cross-Border Security-Based Swap Rules
May 2, 2012
April 23, 2012
SEC Issues Exemptions from Large Trader Reporting Rule
January 17, 2012
October 5, 2011
SEC Large Trader Rule: Impact on Corporations and Related Individuals
August 1, 2011
SEC Adopts Large Trader Reporting Requirement
July 29, 2011
July 26, 2011
SEC’s Final Rules Modify Form S-3 and F-3 Transaction Eligibility Criteria for Debt Issuances
June 9, 2011
SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps
March 18, 2011
SEC Proposal Clarifies No Change to “Beneficial Ownership” Rules for Swaps
January 24, 2011
SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers
January 18, 2011
SEC Proposes Rules to Implement Dodd-Frank Mine Safety Disclosure Requirements
January 18, 2011
January 18, 2011
SEC Proposes Rules Implementing Dodd-Frank Disclosure Requirements for Resource Extraction Issuers
November 3, 2010
MSRB Extends Application of Its Rules and Registration to Municipal Advisors
September 20, 2010
August 13, 2010
U.S. Dodd-Frank Act’s Application to Non-U.S. Issuers That are Not Financial Institutions
July 23, 2010
Spotlight on New Disclosure Requirements for Mining and Natural Resource Companies in Dodd-Frank Act
July 21, 2010
July 21, 2010
Guidance on Use of Credit Ratings in Securities Offerings Following Dodd-Frank
July 21, 2010
July 9, 2010
Systemic risk regulation
July 14, 2017
November 17, 2016
The Trump Transition and Possible Directions for Financial Regulatory Reform
May 25, 2016
Federal Reserve’s Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
March 22, 2016
Visual Memo: Single-Counterparty Credit Limits Proposed Rule
November 3, 2015
The Perils of a Middle Road to Regulating Systemic Risk: The Volcker Rule’s Risk Backstop Provisions
April 2, 2014
U.S. Intermediate Holding Company: Structuring and Regulatory Considerations for Foreign Banks
February 28, 2014
Foreign Banks: U.S. Liquidity Buffer Requirement
February 24, 2014
U.S. Bank Holding Companies: Overview of Dodd-Frank Enhanced Prudential Standards Final Rule
February 24, 2014
Foreign Banks: Overview of Dodd-Frank Enhanced Prudential Standards Final Rule
Volcker Rule
November 17, 2016
The Trump Transition and Possible Directions for Financial Regulatory Reform
March 29, 2016
Investment Management Regulatory Update
December 22, 2015
The Perils of a Middle Road to Regulating Systemic Risk: The Volcker Rule’s Risk Backstop Provisions
August 25, 2015
Investment Management Regulatory Update
August 17, 2015
June 12, 2015
Volcker Prop Trading Provisions: How Firms Are Preparing
March 26, 2015
Investment Management Regulatory Update
July 24, 2014
Investment Management Regulatory Update
June 18, 2014
Volcker Rule: Observations on Interagency FAQs, OCC Interim Examination Guidelines
April 2, 2014
U.S. Intermediate Holding Company: Structuring and Regulatory Considerations for Foreign Banks
February 10, 2014
Who Knew that CLOs were Hedge Funds?
January 23, 2014
Impact of the Final Volcker Regulations on Mid-Size U.S. Banks
January 21, 2014
Impact of the Final Volcker Regulations on Regional U.S. Banks
January 6, 2014
Volcker Rule Final Regulations: Funds Flowcharts
December 23, 2013
Volcker Rule Final Regulations: Proprietary Trading Flowcharts
October 2012
April 20, 2012
Volcker Rule Conformance Period Guidelines
October 12, 2011
Volcker Rule Proposed Regulations: Proprietary Trading Summary
October 12, 2011
Volcker Rule Proposed Regulations: Hedge / PE Funds Summary
October 12, 2011
Volcker Rule Proposed Regulations: Hedge / PE Funds Summary with Annexes
October 12, 2011
Volcker Rule Proposed Regulations: Proprietary Trading Summary with Annexes
October 7, 2011
Summary of Leaked Volcker Release – Proprietary Trading
October 7, 2011
Summary of Leaked Volcker Release – Funds
February 14, 2011
Summary of the Federal Reserve’s Final Regulations on the Conformance Period for the Volcker Rule
January 20, 2011
Summary of the Volcker Rule Study – Hedge Funds and Private Equity Funds
January 19, 2011
Summary of the Volcker Rule Study – Proprietary Trading
September 16, 2010
Impact of the Dodd-Frank Act on Private Equity Funds, Hedge Funds and Their Investment Advisers
July 23, 2010
Exploring the Volcker Rule’s Effect on Banks: WSJ Video Interview
July 21, 2010
July 21, 2010
July 9, 2010
Davis Polk Regulatory Implementation Slides
June 25, 2010
Whistleblowers
December 22, 2016
SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements
September 24, 2015
Investment Management Regulatory Update
September 15, 2015
May 20, 2015
Investment Management Regulatory Update
April 2, 2015
SEC Announces Enforcement Action Against Restrictive Language in Confidentiality Agreements
July 24, 2014
Investment Management Regulatory Update
June 18, 2014
Whistleblower Update: SEC Resolves First Case Under New Authority to Bring Anti-Retaliation Claim
June 9, 2014
Recent Developments in Whistleblower Protections: Legal Analysis and Practical Implications
April 29, 2014
Investment Management Regulatory Update
July 18, 2013
Investment Management Regulatory Update
September 26, 2012
Investment Management Regulatory Update
August 23, 2012
SEC Announces First Whistleblower Program Award
January 17, 2012
May 25, 2011
SEC Adopts Final Whistleblower Rules
November 4, 2010
SEC Proposes Whistleblower Rules
July 21, 2010
July 21, 2010
July 9, 2010
Enhanced Prudential Standards (EPS)
Final EPS - Davis Polk materials
January 11, 2017
April 2, 2014
February 24, 2014
February 24, 2014
Davis Polk Visual Summary of Dodd-Frank Enhanced Prudential Standards Final Rule for Foreign Banks
March 24, 2014
February 28, 2014
March 26, 2014
Davis Polk Blackline of Federal Reserve Dodd-Frank Enhanced Prudential Standards Final Rule Text
Final EPS - rules and statements
March 27, 2014
Federal Register Enhanced Prudential Standards Final Rule
February 18, 2014
Dodd-Frank Enhanced Prudential Standards Final Rule
February 18, 2014
February 18, 2014
Statement by Federal Reserve Chair Janet L. Yellen
February 18, 2014
Statement by Federal Reserve Governor Daniel K. Tarullo
Proposed EPS - Davis Polk materials, statute and rule
December 2012
Large FBOs: Davis Polk Memo and Visuals on Proposed Enhanced Prudential Standards
December 2011
Large U.S. BHCs and Nonbank SIFIs: Davis Polk Memo on Proposed Enhanced Prudential Standards
December 2012
Large FBOs: Proposed Enhanced Prudential Standards
December 2011
Large U.S. BHCs and Nonbank SIFIs: Proposed Enhanced Prudential Standards
July 2010
Statutory Text of Sections 165 and 166 of the Dodd-Frank Act
U.S. Basel III capital framework
April 2015
Davis Polk Visual Memo on the U.S. Basel III Final Rule
September 2014
Final Supplementary Leverage Ratio (SLR) Visual Memo
September 2014
September 2014
January 2014
Davis Polk Visual Memo on the Basel Committee’s Revised Basel III Leverage Ratio
July 2013
Davis Polk Memo on the U.S. G-SIB Leverage Surcharge Proposal
October 2013
July 2013
U.S. G-SIB Leverage Surcharge Proposal
CCAR, capital planning and Dodd-Frank stress testing
July 2016
Davis Polk Visuals of Federal Reserve’s 2015 CCAR and Dodd-Rank Stress Test Results
November 2013
Davis Polk Visuals of the Federal Reserve’s 2014 Stress Test Scenarios
November 2013
Davis Polk Blackline Comparing 2014 CCAR Instructions with 2013 Instructions
November 2013
Davis Polk Blackline Comparing 2014 CCAR Instructions with 2013 Instructions
October 2012
October 2012
Federal Reserve Final Rule on Dodd-Frank Company-Run Stress Tests for Mid-size Banking Organizations
November 2011
Federal Reserve Final Rule on Capital Plans for Large U.S. BHCs
Basel III liquidity framework
September 2014
Final Liquidity Leverage Ratio (LCR) Visual Memo
September 2014
September 2014
October 2013
Davis Polk Visual Memo on U.S. Basel III LCR Proposal
October 2013
November 2013
Blackline of U.S. Liquidity Coverage Ratio Proposal: Federal Register Version vs. Draft Version
January 2014
Davis Polk Blackline of Basel Committee’s Final LCR Disclosure Standards
Risk management and corporate governance
OCC’s Final Risk Governance Guidelines
OCC’s Final Risk Governance Guidelines Blackline
January 2014
Davis Polk Visual Memo on the OCC’s Proposed Risk Governance Guidelines
Single counterparty credit limits and credit exposure measurement methodologies
March 22, 2016
March 2016
Federal Register Single-Counterparty Credit Limits Proposed Rule
June 24, 2013
June 2013
June 2013
Blog post: Basel Committee Proposal on the Capital Treatment of Bank Exposures to Central Counterparties